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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1611 results. Displaying page 68 of 108

  1. 27 September 2017

    Substantial product holder disclosures guidance

    This guidance is for anyone who has a substantial holding in a listed issuer; Fund management firms and their employees. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.
    Tags
    Derivative Issuer, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  3. 22 September 2017

    FSPR report 2017

    Some businesses and individuals register on the Financial Services Provider Register (FSPR) to mislead overseas investors that their activities are regulated by us or other authorities. We do not oversee or maintain the FSPR, the Companies Office performs this role. But we do have the power to deregister a business or individual or prevent them from registering in the first place. Read about the work we’re doing to tackle misuse of the register and some useful case studies that provide examples of where we’ve taken action.
    Tags
    Reports and Papers, FSPR, Business, News & Insights
    Type
    PDF

  5. 1 September 2017

    Disclosing non gaap financial information guidance

    This guidance replaces our 2012 Guidance note: Disclosing non-GAAP financial information to reflect the requirements of the Financial Markets Conduct Act 2013 (FMC Act) and our findings from the review of non-GAAP financial information since 2012.
    Tags
    Compliance, Reporting entities, Business
    Type
    PDF, Guidance

  6. 28 August 2017

    Prince Partners - Judgment

    High Court Judgment in the case against Prince and Partners Trustee Company Limited, 25 August 2017.
    Tags
    Enforcement
    Type
    PDF

  9. 4 August 2017

    Consultation Paper Market Index

    This consultation is for MIS managers, advisers, supervisors,
    and investors. It seeks feedback on a proposed exemption from the market index requirement.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  10. 1 August 2017

    FMA Annual Corporate Plan 2018

    This Annual Corporate Plan sets out our activities for the period that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Annual corporate plan, Corporate publications